The aim of our Disclosure Log is to keep information that we have released under the Freedom of Information Act and which we think is of wider public interest. Find the Disclosure Log for 2015 below.
Below is a list of some of the disclosures made under the Freedom of Information Act, which we consider to be of wider public interest, with a short summary of each document and the date it was released. To preserve the integrity of the original documents, all files are in Adobe Acrobat (PDF) format and have not been formatted for accessibility. The list will be extended as items that we consider to be of wider public interest are requested and released.
Some responses to Freedom of Information requests consist of large numbers of documents that are not held in an electronic format. Where practical, these documents have been scanned and made available electronically.
However, in certain cases the volume of material involved has made this impractical and the information can be provided in a hard copy format only. For information about how to access any such material, please call 020 7066 4406 or email us at: [email protected].
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Date of release |
Subject |
Reference |
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December 2015 |
I would like some information about attestations and related enforcement activity. Of attestations received by the FCA over the last two financial years, I would like to know:
Please provide the information broken down by quarter for the last two financial years (2013/14, 2014/15)- or whichever year end is most convenient. If it is not possible to provide the information broken down by quarter, please provide it broken down by financial year. If possible, could you also provide the data broken down by sector: Retail; Wholesale and investment management; General insurance and protection; Long term savings and pensions; Mortgages and consumer lending. |
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December 2015 |
National Marketing Campaigns Cost I would like a list of the National Marketing Campaigns undertaken in the last 5 years (or 10 years if less than two exist) by the FCA / FSA. I would like this list to show:
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December 2015 |
National Marketing Campaigns Cost I would like a list of the National Marketing Campaigns undertaken in the last 5 years (or 10 years if less than two exist) by the FCA / FSA. I would like this list to show:
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November 2015 |
The DVLA require parking companies to abide by “FCA Debt Collection Guidance” issued by the Financial Conduct Authority. The exact wording of the requirement in their contract with parking companies is as follows: “FCA Debt Collection Guidance” means any guidance and/or codes of practice issued by the Financial Conduct Authority from time to time for businesses engaged in the recovery of consumer credit debts, including the guidance document entitled “Use, format and content of standard debt collection letters” produced by the Credit Services Association and in association with the Office of Fair Trading and is available on the FCA website. 1) Please supply copies of all current guidance issued by the Financial Conduct Authority for businesses engaged in the recovery of consumer credit debts. 2) Please supply copies of all current codes of practice issued by the Financial Conduct Authority for businesses engaged in the recovery of consumer credit debts. 3) I have located the copy of the guidance document entitled “Use, format and content of standard debt collection letters” elsewhere, but cannot find it on your website. Please provide a link to this document or detail how a consumer can find it on your website. |
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November 2015 |
The Regulatory Decisions Committee (RDC) reviews the FCA's proposals to issue warning and supervisory notices. I would like to know (a) how many requests for warning notices from FSA/FCA staff the RDC has received per year over the last five years; |
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November 2015 |
How many peer-to-peer platforms have applied for FCA authorisation? How many peer-to-peer firms have been successfully granted permissions/authorisation? How many peer-to-peer firms have withdraw FCA applications? The names of peer-to-peer firms who withdrew FCA applications. |
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November 2015 |
Clarified request: Correct, the first part of the question refers to investigations opened as a result of failures to comply with confirmations made in an attestation by the firm or by an individual. The attestations I am referring to are those which have been required by specific firms/individuals in circumstances unique to that firm/individual. Original request: Enforcement/investigations Can you please tell me how many investigations the FCA has opened where it has relied on an attestation signed by an employee of the firm in the investigation. Please give figures on a quarterly basis for the past two years. Can you also say how many of these investigations have resulted in enforcement action. |
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October 2015 |
Under the Freedom of Information Act, please could you provide me with information for each postcode area in the UK:
Please could you provide the information as of the end of Q4 in 2014 and the end of Q2 2015, if possible. Please send this information as a spreadsheet or csv file, e.g send the original file rather than one that has been converted to PDF. |
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October 2015 |
A note of how many businesses have sought assistance from the FCA on their potential implementation of 'robo-advice' systems/technology/services in the retail investment market through the Project Innovate scheme in the period since it launched until 19/08/15 inclusive. |
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October 2015 |
Follow up from FOI4188 Many thanks for your email. I should be grateful if you would clarify how many s397 prosecutions took place of individuals, both working for listed companies and not, for each of the calendar years from 2009 to 2014 inclusive, in other words, how many in 2009, how many in 2010, etc. The figures you have provided are a total for the five-year period, as opposed to a breakdown by year. Clarified same day - I of course meant the Financial Services Act 2012, not 2000. Therefore, to clarify, what I sought was the following: In each year 2009, 2010, 2011, 2012, 2013 and 2014, how many people were prosecuted under either section 397 of the Financial Services and Markets Act 2000 or the Financial Services Act 2012, and of these, how many were employees of companies listed on the London Stock Exchange. |
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| October 2015 |
Firms regulated by the FCA: 1. The number of firms regulated by the regulatory authority on an annual basis from the financial year 2002/03 to present (this will therefore include data from the FSA and FCA); 2. The total value of the regulated firms on an annual basis from the financial year 2002/03 to present; 3. Information on the type of firms that have been included under the regulation of the FSA and the FCA as the number of regulated firms has expanded. |
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September 2015 |
Prosecutions under FSMA 397/FSA Part 7 Business area/division: Enforcement Relevant dates: 2009-2014 For each calendar year from 2009 to 2014 inclusive, how many prosecutions did the FSA or FCA bring under the misleading statements, practices and provisions of the Financial Services and Markets Act 2000 (Section 397) and the Financial Services Act 2000 (Part 7)? Of these, how many were brought against employees of registered firms listed on the London Stock Exchange, or their subsidiaries? |
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September 2015 |
The amount your organisation pays to the Confederation of British Industry and its subsidiaries. I am writing to obtain information about the amount your organisation pays to the Confederation of British Industry and its subsidiaries. Please provide the amount paid to the CBI (and its regional subsidiaries): a. in membership fees b. fees for one off conferences or other events and c. fees paid to the CBI for any other services. Please make clear if the response includes payments from any Non-Departmental Public Bodies, Executive Agencies etc which fall under the department and please provide a breakdown of what payments came from which agency/body. Please provide this information for the period 2009-2015 set out by calendar or financial year. If you are unable to provide all of this information within the time/cost limit please work up to the limit focusing on membership fees. Regarding the regional subsidiaries, the full list is here for your reference: CBI Scotland |
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September 2015 |
I would like to know details of all studies conducted in-house or commissioned by the FCA relating to 'nudging' / behavioural economics and variants of those items. I am interested in reports since 1 July 2013. I would like to know: |
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August 2015 |
How many individuals currently have permission to advise on regulated mortgage contracts? How many of these are female? How many individuals had permission to advise on regulated mortgage contracts in 2010? How many of these were female? |
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August 2015 |
Complaints against the FCA: 1. Please can you tell me how many complaints against the FCA were received during the 12 months applicable to your annual report of 2014/2015 that were about, or were related in any way to Interest Rate Hedging Products and/or Commercial Fixed Rate Loans (which present the customer with a similar risk of incurring sizeable exit or 'break' costs.) 2. Can you also tell me how many of those complaints against the FCA that were received in 2014/2015 in respect of either or both types of products are now categorised as ‘closed’ and, of those that have been closed: a) how many were not investigated? b) how many were not upheld? c) how many were fully upheld? d) how many were partially upheld? |
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August 2015 |
Could you please provide a list of all the fieldnames/column headers/row headers of spreadsheets or databases held by the FCA aggregating or listing information gathered about s166 Skilled Persons Reviews. |
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August 2015 |
Please send me answers to the following questions: How much did the FCA spend on external investigators in 2014 to 2015? How much did the FCA spend on external investigators in 2013 to 2014? How many cases did the FCA use external investigators for in 2014 to 2015? How many cases resulted in the FCA taking action against a firm/individual in 2014 to 2015? How many cases resulted in criminal proceedings being pursued against a firm/individual in 2014 to 2015? |
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August 2015 |
Fines: Please provide me with a list of fines (issued by the FCA to banks and other financial institutions over the past 7 years) relating to a failure in systems and controls of IT systems. Please list the data by institution showing the amount, date, and a one line description of the justification for the fine. |
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July 2015 |
Judicial review proceedings against the FCA In each the last 3 financial years: 1. How many pre-action protocol letters threatening judicial review have been received? Of that number how many pre-action protocol letters were from individuals and how many were from corporates? 2. How many judicial review proceedings have been commenced against the FCA? Of that number how many were brought by individuals and how many by corporates? 3. How many judicial review proceedings against the FCA had permission granted? Of that number how many were brought by individuals and how many by corporates? 4. How many judicial review applications had permission refused? Of that number how many were brought by individuals and how many by corporates? 5. How many judicial review proceedings were discontinued or withdrawn? Of that number how many were brought by individuals and how many by corporates? 6. How many judicial review proceedings ended in a full contested hearing? Of that number how many were brought by individuals and how many by corporates? |
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July 2015 |
I would like to refine my request as follows: I would like to know the number of investigations, the number of proceedings, the number of closed proceedings and the number of settlement deals regarding insider dealing for the year (or fiscal year) 2014. |
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July 2015 |
Since the FCA took over the regulation of the Consumer credit industry, I would like to know how many applications for full FCA authorisation from Peer- to-Peer lenders have been: a)Submitted If it looks like the work involved in responding to this FOI is going to exceed the time permitted under the FOIA then please contact me as soon as possible to discuss how I can reduce the scope of this request. |
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July 2015 |
CF30 statistical data: I would like to request statistical data on: 1) How many individuals currently hold CF30 Customer permissions in the UK and Crown Dependencies. 2) How many current CF30 customer permission holders report the title 'Mr', or equivalent. 3) How many current CF30 customer permission holders report the title 'Miss', 'Ms' or equivalent. 4) How many current CF30 customer permission holders report the title 'Mrs', or equivalent. |
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July 2015 |
'Project Innovate'. Since the project was set up the FCA, I would like to know: 1)The total number of businesses that have requested support from the Project Innovate unit 2)The total number of requests for support accepted 3)The total number of businesses which have been authorised by the FCA following support provided under Project Innovate If this is not possible, please could you provide some other measure of the FCA’s work in relation to Project Innovate. |
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July 2015 |
Clarification: Kindly process my request as per the explanation provided below. 1. I need the number of customers complaints semi-annually on regulated firms on firm-level basis (Opened Complaints Trend) from June 2002-December 2009. I need Firm-level complaints. What you have on your website starts from June 2010 to December 2014, what I need is Firm-level complaints information Between June 2002-December 2009. 2. The amount of fines issued semi-annually to regulated firms on firm-level basis (fines amount trend) from June 2002-December 2014.Resolved, on the website. 3. I would like to know the number of fines issued semi-annually to regulated firms on firm-level basis (fines number trend) from June 2002-December 2014. Resolved, on the website. 4. I would like to know the number of Private Warnings the FCA has issued to regulated firms semi-annually on firm-level basis (Private Warnings trend) from June 2002-December 2014.” Please provide information from March 2004 to December 2014. Original: 1. I need the number of customers complaints semi-annually on regulated firms on firm-level basis (Opened Complaints Trend) from June 2002-December 2009. 2. The amount of fines issued semi-annually to regulated firms on firm-level basis (fines amount trend) from June 2002-December 2014. 3. I would like to know the number of fines issued semi-annually to regulated firms on firm-level basis (fines number trend) from June 2002-December 2014. 4. I would like to know the number of Private Warnings the FCA has issued to regulated firms semi-annually on firm-level basis (Private Warnings trend) from June 2002-December 2014. |
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June 2015 |
Based on applications received by the FCA for full permissions authorisation for consumer credit [restricted to firms with electronic records only], I would like to know: 1. How many total applications have been received, and how many of these have been from applicants with the legal status of sole trader (based on responses to question 2.5)? 2. How many applicants answered 'yes' to question 5.13 (intention to appoint an Appointed Representative)? 3. What is the average number of Appointed Representatives that these applicants intended to appoint (based on responses to question 5.14)? |
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June 2015 |
1. On how many occasions since 01st April 2006 has the FCA granted an immunity to an individual pursuant to a) s71 S0CPA 2005 or b) under the common law? 2. On how many occasions since 01st April 2006 has an agreement been made by the FCA with an individual pursuant to s73 SOCPA 2005? In respect of the above requests please present the aggregate information on an annualised basis. 3. In relation to any such agreements referred to in point 2 above, please confirm the offences that the individual pleaded guilty to? 4. As a consequence of their assistance rendered pursuant to their guilty pleas referred to in point 3 above please confirm what discount or reduction of sentence was awarded to the defendant by the court? We have been unable to obtain this information reliably from any previously published source. |
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June 2015 |
Figures on Peer-to-peer (P2P) lending firms Since the FCA took over the regulation of Peer-to-Peer lending firms in April 2014, I would like to know: 1.The total number of Peer-to-Peer lending firms which applied for and gained interim permission 2.The total number of applications for full authorisation from Peer-to-Peer lending firms holding interim permission 3.The total number of applications for full authorisation from Peer-to-Peer lending firms which do not hold interim permission If possible I would like the information for the year ending 31st March 2015. I would also, if possible, like the number of applications submitted since the 31st March 2015. |
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May 2015 |
How much premium income has been received by those issuing PPI policies in each year for which you have records? |
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May 2015 |
Average Authorisation Times Could you please tell me what is the average authorisation time for financial advice firms going from being an appointed representative to becoming directly authorised? Can I please have it for the most recent timeframe which you have data for eg. Q4 2014, or 2014 as a whole. Could you also say, during the whole of 2014, what was the quickest and longest authorisation time for advice firms going from AR to DA? Could you also please tell me the average authorisation time for new financial advice firms? Can I please have it for the most recent timeframe which you have data for eg. Q4 2014 or 2014 as a whole. |
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May 2015 |
Fyshe Horton Finney Ltd: Clarified request: 1) Correspondence between FCA and Harrisons (administrators) regarding the pooling event when Fyshe Horton Finney Ltd went into special administration, between 20 March 2013 and end Dec 2013. 2) Did FCA know and approve of what appeared to be contrary to a CFA CASS Handbook regarding statutory return of my client cash. Moreover, were FCA made aware Harrisons imposed embargo in July 2013 that froze such as my Claim for return of 100% client cash from FSCS, arranged in lieu? I now seek evidence that FCA formally approved the reclassification of retail clients to unsecured creditors and imposing the embargo to leverage payment of spurious invoice, wanting back say £18K client cash like I did. |
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April 2015 |
I am interested in finding out how many dawn raids the FCA has conducted. By “dawn raids” I mean searches of businesses’ and individuals’ premises by the FCA under warrant and in the presence of a police officer. I would like to know how many dawn raids the FCA carried out in 2014. Please provide the data broken down by quarter. If the data is not available in a quarterly format, please provide it in whatever form it exists. If it looks like the work involved in responding to this FOI is going to exceed the time permitted under the FOIA then please contact me as soon as possible on the number below to discuss how I can reduce the scope of this request. |
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April 2015 |
Under the FOIA I would like to know the total number of individuals, per subsector as defined by the FCA, that are currently authorised under the FCA Approved Persons Regime. I would also like to know the total number of individuals, per subsector as defined by the FCA, that are currently authorised under the FCA Significant Influence Function regime. I would like the information for the past five years, broken down by year, with the year end March 31st. If this is not possible I would like it for the past three years, broken down by year, with the year end March 31st. |
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April 2015 |
How many firms are currently registered by the FCA. Under the FOIA, I would like to know how many businesses, per subsector as defined by the FCA, are currently registered with the FCA. I would like the information for the past five years with the year, broken down by year, with the year end March 31st. I would also like this information broken down by location (eg. Local Authority, Town, Post Code) |
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April 2015 |
Standard application and Non-routine applications for approval. A) How many applications for FCA approval has the FCA received in each of the following calendar years 2013 and 2014. Please could we have this broken down by firm or candidate: b) In each of those years, how many of these applications were classified as 'non-routine applications'. Please could we have this broken down by firm or candidate: c) In each of those years, how many of those 'non-routine' Applications ultimately resulted in the candidate/firm concern being authorised? Please could we have this broken down by firm or candidate |
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April 2015 |
FOI re withdrawal of approval - qualified withdrawal notifications 2. How many had their FSA/FCA approval withdrawn as a result of 'qualified withdrawal notifications' in each of the past three calendar years, 2012, 2013, 2014. 3. Is it possible to have a breakdown of why the approvals were withdrawn in each of the past three calendar years, 2012, 2013, 2014. E.g.: not fit and proper, dismissal etc. If not please just answer Q1 & 2 |
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April 2015 |
A) We would like data for 2013 and 2014 for each Authorised PI stating: 1, Which payments services the Authorised PI conducts? 4. Number of agents? B) We would like data for 2013 and 2014 for each Small PI stating: 2) The number and value of payment transactions (all transactions, including one leg). C) Additionally from 2009 to 2014: 1. The total number of Pis in that year 2. How many Pis registered and how many closed each year 3. The total number of APIs in that year 4. How many APIs registered and how many closed each year 5. The total number of SPIs in that year 6. How many SPIs registered and how many closed each year 7. The total number of APIs classified as money remitters in that year 8. How many APIs classified as money remitters registered and how many closed each year 9. The total number of SPIs classified as money remitters in that year 10. How many SPIs classified as money remitters registered and how many closed each year |
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| March 2015 | Suspicious Transaction Reports:
1. How many Suspicious Transaction Reports have been reported to the FCA/FSA in each of the following calendar years, 2012, 2013, 2014 2. Please can we have the numbers broken down by category: Information from the General Public 2014 3. How many of the Suspicious Transaction Reports were progressed in each of the following calendar years- 2014, 2013, 2012? 4. In how many instances did Suspicious Transaction Reports lead to criminal proceedings in each of the following calendar years- 2014, 2013, 2012? 5. In how many instances did Suspicious Transaction Reports lead to regulatory proceedings in each of the following calendar years- 2014, 2013, 2012? NB: If the five questions exceeds the time limit please only answer questions 1, 2 and 3. |
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| March 2015 | Product Sales Data (Retail Investments Statistics):
We would like a more detailed breakdown of the data from the Product Sales Database Retails Investments Aggregated Statistics. In particular, we would like to request the following: 1) For each firm type (banks, insurer etc), would it be possible to have the sales for each product (bonds, Trusts, OEIC etc) broken down by: (a) provider vs non-provider sale and 2) For ISA, would it be possible to break the data down to cash and stocks and shares ISAs. 3) For Trusts and OEICs would it be possible to break down the data down between (a) Investment Trusts and Would it be possible to have these data for the years 2011-2014? |
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| March 2015 | How many AIFMs filed Annex IV reports with the FCA by 31 January 2015 and how many had filed Annex IV reports by 7 February? And of those who filed by 31 January, what number of those submitted Annex IV reports via the Gabriel platform? |
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| March 2015 | Whistleblowing request
How many new whistleblowing reports were received by the FSA/FCA in each of the following calendar years 2014, 2013, 2012 How many new intelligence reports were created by the FSA/FCA as a result of whistleblowing reports in each of the following calendar years 2014, 2013, 2012 How many new investigations were opened by the FSA/FCA as a result of whistleblowing reports in each of the following calendar years 2014, 2013, 2012 |
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| March 2015 |
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| March 2015 | I am requesting information under the FOI Act on hospitality.
Martin Wheatley expensed £572.55 on entertaining and working lunches in July-September 2014. Please disclose the following details for each occasion: 1. the name of the company(s) and if possible the individual(s) he entertained Clive Adamson expensed £49.95 on entertaining and working lunches in October-December 2014. Please disclose the details as above. |
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| February 2015 |
Peer-to-peer lending: Please could I have the list of 56 firms with Interim permission P2P Lending permission (Loan based crowdfunding) and one fully authorised firm mentioned in paragraph 42 of the FCA Crowdfunding review document ( http://www.fca.org.uk/your-fca/documents/crowdfunding-review ).
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| February 2015 |
SIPPs Follow up request to RE3829 Thank you very much for your reply and the information contained therein. These figure I had assumed that you would have calculated for each provider the assets in each of the asset classes & then totalled these figures for all operators as part of the outputs from the review. That’s why I assumed that the % breakdown would have been straightforward. If indeed you have the total assets for each of the asset classes then that would satisfy my request. If however this isn’t the case then can you provide either the total assets or the % of the total assets for the following asset classes: Unquoted equities Overseas commercial property UCIS Other non-mainstream assets |
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| February 2015 |
Consumer Credit authorisations: I would like to know, since the FCA began to regulate consumer credit in April 2014, how many applications for full authorisation from consumer credit firms has the FCA: a) Received b) Approved c) Rejected I would like this data broken down into: (i) applications for authorisation, (ii) applications for principal status, and (iii) applications for appointed representative status. |
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| February 2015 |
I read with considerable interest that "The Financial Conduct Authority announced plans to overhaul the £700billion cash savings market after revealing that it doesn’t work well for consumers”. This is long overdue. Can you please confirm: • the cost of this review, • how long it took • what processes it followed to reach it’s conclusions |
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| February 2015 |
A list of all firms that fall under the UCITS directive. A list of all firms that fall under the MIFID directive. The report to be provided in either .xls or .pdf format, |
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| February 2015 |
FCA staff / FX investigation: I should be grateful if you would provide the following details in relation to the Foreign Exchange (“FX”) investigation: 1. The total number of staff currently employed, internally and externally, (or otherwise retained or engaged) by the FCA working on the FX investigation; 2. The maximum number of staff employed (or otherwise retained or engaged) by the FCA at any point during the FX investigation; 3. The turnover of staff (expressed as a percentage) amongst those working on the FX investigation from the commencement of the investigation until the present day; 4. The number of staff currently working on the FX investigation that have previously worked in the financial services sector; and 5. The total amount spent by the FCA on the FX investigation up to the present day. |
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| February 2015 |
1. How many hedge funds or hedge fund managers are currently under investigation by the FCA enforcement team? 2. Could I have the reason for each investigation? |
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| February 2015 |
Financial Adviser Numbers Please can you therefore provide me with a summary of adviser numbers by category for the last 5 years. I believe this information was recorded by the FSA prior to the FCA. The categories currently reported are as follows: 1) Financial Adviser 2) Bank and Building Society 3) Stockbroker 4) Discretionary Investment Manager 5) Other 6) Waivers Clarified that request was regarding the RDR population on 01 Feb 2015. I am only interested in the number of advisers authorised that they are able to give advice on protection products. The attached e mail was provided to a Money Marketing Journalist in the Autumn and this has the numbers along the lines of what I am looking for. |
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| February 2015 |
Number of businesses invested in the UK since the inception of passporting: 1) I would like some information on the number of EU businesses (financial services and their permitted activity) that invested in the UK based since the inception of passporting up to September 2014. Please provide this information on a monthly basis. [Clarification: number of passports held by UK firms to conduct business elsewhere in the EEA and passports for firms in other EEA countries to conduct business in the UK]. 2) I would like some information on the number of UK businesses (financial services and their permitted activity) that invested in the UK based since the inception of passporting up to September 2014. Please provide this information on a monthly basis. [Clarification: 'since the inception of passporting' means since the introduction of the regulation that allows for business passporting.] [Clarification: 'since the inception of passporting' means since the introduction of the regulation that allows for business passporting.] 3) I need to know the number of employment that these businesses generate on a monthly basis up to September 2014. [Clarification: 'these businesses' refers to both EU businesses and UK businesses]. 4) The amount of investments from the EU businesses on a monthly basis since the inception of passporting up to September 2014. [Clarification: 'the amount of investments' means the investments done by these businesses or investors from EU countries in the UK from the beginning of the introduction of passporting regulation up to September 2014.] 5) The amount of investments of the UK businesses to the EU on a monthly basis since the inception of passporting up to September 2014. [Clarification: 'the amount of investments' means the investments done by UK businesses or UK investors to other EU countries from the beginning of the introduction of passporting regulation up to September 2014.] 6) The management information for banks treating customers fairly (TCF) from June 2008 - September 2014. Please provide this information on a quarterly basis or, if that is not possible within the FOIA time and cost limits, please provide it on a semi-annual basis. 7) The amount of redress paid to consumers on who have been mis-sold financial products from January 2008 - September 2014. [Clarification: Redress associated with complaints only (and which does not include redress paid as a result of, for example, past business reviews, enforcement action, etc.] 8) The management information of banks treating customers fairly (TCF) from June 1998 - September 2014. Please provide this information on a quarterly basis or, if that is not possible within the FOIA time and cost limits, please provide it on a semi-annual basis. |
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| January 2015 | SECTION 166 'skilled persons' report
I am interested in finding out the average length of time that 'skilled person reports' relating to insurance companies, and general insurance brokers, have remained 'open' since 2012. Please define an 'open' skilled person's report (commissioned under Section 166) in a way that is matches FCA's processes and can be tracked by you; my understanding of the process is that a completed skilled person's report can result in two possible scenarios: - After the skilled persons report has been received and reviewed by the FCA, the FCA decides that no further action will be taken and informs the skilled person or the firm concerned. - The FCA holds a further meeting with either the firm concerned, the skilled persons, or both (if more than one meeting is required, please base your calculation on the date of the last meeting held). I do not need to know about any subsequent monitoring by the FCA of any issues raised by the skilled persons report. Please exclude any currently 'open' skilled persons reports from your figures. If possible within the cost and time limits of the Freedom of Information Act, please also break the information down further and give separate figures for 'insurance companies' and 'insurance brokers'. |
FOI3852 |
| January 2015 | AIFM Request
the total number of companies regulated as AIFMs as of 31 December 2014 under UK law of 22 July 2013 transposing European Alternative Investment Fund Managers Directive 2011/61/EU |
FOI3849 |
| January 2015 |
Could you please tell me how much the FCA paid for the two reports below, respectively? http://www.fca.org.uk/your-fca/documents/research/rdr-post-implementation-review-europe-economics http://www.fca.org.uk/your-fca/documents/research/advice-gap-analysis-report
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FOI3846 |
| January 2015 | How many enforcement investigations did the FSA/FCA open in each of the last three calendar years (2012, 2013 & 2014).
Please could we have the yearly figures broken down by firms and individuals as well as a breakdown of and how many of these were closed with no public outcome. See below: -Total number of investigations opened. -Total number of investigations opened into firms. -Total number of investigations opened into individuals. -Total number of opened investigations into firms that were closed with no public outcome. -Total number of opened investigations into individuals that were closed with no public outcome. |
FOI3843 |
| January 2015 | Aggregated requests-
Email of 16th December - You state below that the FSA had worked with the providers before publishing the guidance to ensure that they had plans in place to deal with an increase in redemption requests. 1) As the providers subsequently could not deal with the increase in redemption requests, can you please advise what measures were taken by the FSA to ensure the providers had plans in place? 2) The FSA did not pre-consult on the wording of the announcement so did they ensure the providers understood the announcement would include terms such as ‘Ponzi like’ and ‘toxic’ in the announcement? Email of 20th December - 1) Could you please send me copies of the 55 responses to the consultation on the ‘Proposed guidance on TPLIs’ which was conducted between 28 November 2011 and 23 January 2012 and which were referred to in the FSA summary of feedback received also published in 2012. 2) Could you also please send me copies of the ‘previous communications’ referred to on page 3 of the summary of feedback from the consultation in the following sentence, “By setting out our concerns in stronger terms than in previous communications, we hope...” |
FOI3834 |
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January 2015
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Crowdfunding:
I would like to know the average time the FCA took to process the authorisation of crowdfunding firms, broken down by quarter, for Q2, Q3 and Q4 2014. I would also like to know how many firms have applied for authorisation for Q2, Q3 and Q4 and how many firms have been authorised over that period. |
FOI3827 |
| January 2015 | It is our understanding that a letter was sent to the Retail Derivatives Committee ("RDC") outlining guidance for online trading services allowing people to "copy" the strategies of other traders - otherwise known as copy trading.
Please could you provide any guidance in relation to this or indeed a copy of the letter. |
FOI3820 |
| January 2015 | How many AIFMs were registered for Annex IV reporting with Gabriel but have not been authorised by the FCA as of December 1 2014?
Clarified on 23/12/14 I am trying to ascertain the total number of AIFMs who are due to report Annex IV transparency information to the FCA (i.e. the number of firms who had applied) versus the number of firms who have not been authorised by December 23 2014 |
FOI3803 |
| January 2015 | 1) How many calls/e-mails/letters has the A's Whistleblowing Desk received over each of the last three years, broken down by year (year-end September 30th).
2) A breakdown of the whistleblowing incidents progressed by case type for each of the last three years, broken down by year (year-end September 30th). |
FOI3796 |